Misconduct in research undermines the scientific enterprise and erodes the public trust in the University community to conduct research and communicate results using the highest standards and ethical practices. The institution is responsible both for promoting academic practices that prevent misconduct and for developing policies and procedures for dealing with allegations of fraud or misconduct. All members of the institution's community (students, staff, faculty, and administrators) share responsibility for developing and maintaining standards to ensure ethical conduct of research as well as detection and appropriate handling of abuse of these standards. This responsibility must be assumed while sustaining the openness and creativity vital to the research enterprise.

The policies and procedures outlined below apply to faculty, staff, and graduate students. They are not intended to address a broad range of ethical issues in academic research.

Scientific dishonesty involves some form of fraudulent behavior that entails an act of deception whereby one's work or the work of others is misrepresented. Fraud is distinguished from honest error and from ambiguities of interpretation that are inherent in the scientific process. Further, fraud or serious misconduct involves significant breaches of research integrity that may take numerous forms such as (but not limited to) those outlined below.

Falsification of Data - This ranges from fabrication to deceptive reporting of findings and omissions of conflicting data.

Improprieties of Authorship - Plagiarism and other improper assignment of credit: such as, excluding others or claiming the work of another as one's own; presentation of the same material as original in more than one publication; including individuals as authors who have not made a definite contribution to the work published; and submission of multi-authored publications without the concurrence of all authors.

Misappropriation of Others' Ideas - Improper use of information or influence gained by privileged access such as service on peer review panels, editorial boards, and policy boards of research funding organizations.

Violation of Generally Accepted Research Practices - Improper manipulation of an experiment to obtain biased results; intentional improper statistical or analytical manipulations.

Violation of Federal, State, or Institutional Rules Governing Research - Including (but not limited to) those regarding use of funds, care of animals, human subjects, investigational drugs, DNA, new devices, and radioactive, biological, or chemical materials.

Inappropriate Behavior in Relation to Misconduct - Includes inappropriate accusation of misconduct; failure to report known or suspected misconduct; withholding or destruction of information relevant to a claim of misconduct; and retaliation against persons involved in the allegation or investigation of misconduct.

TWU has a responsibility to monitor research activities, to pursue allegations of research misconduct fully, and to resolve questions regarding the integrity of the research.

TWU has a responsibility to focus on the substance of the issues and not permit personal conflicts among colleagues to interfere with the conduct of research.

TWU has a responsibility to continue the examination of any allegations and to reach a conclusion for all cases even if the researcher leaves the University. TWU should also cooperate with the processes of other involved institutions to resolve such questions.

It is recommended that the Dean of the Graduate School be appointed as supervisor of a committee to investigate allegations.

The Dean of the Graduate School will be responsible for appointing a committee of tenured faculty and naming a chair to review all complaints to determine if an investigation is necessary. If the Dean of the Graduate School has a conflict of interest with the case, the Provost and Vice President for Academic Affairs will appoint the committee.

The Dean of the Graduate School should also be responsible for: providing education about misconduct in research; interpreting TWU¹s policy regarding misconduct in research; counseling staff; disseminating TWU's policy on misconduct in research; communicating with necessary state and local personnel, including notifying the Director of the Office of Scientific Integrity of any inquiry or investigation; maintaining all records of the inquiry for up to three years; and, assuring completion of its initiation unless circumstances clearly warrant a longer period.

The above named individual will confidentially counsel any individual who comes forward with an allegation of fraud. Some concerns brought to this administrator's attention may not fall within the scope of the policies and procedures developed to address fraud. If it is determined that a case of fraud is presented, the complainant must openly present the case and is not granted confidentiality.

If the Dean of the Graduate School determines that the concern is properly addressed through policies and procedures designed to deal with fraud in research, the inquiry and investigation procedures should be discussed with the individual who has questions about the integrity of a research project. If the individual chooses not to make a formal allegation but the administrator believes there is sufficient cause to warrant an inquiry, the matter will be pursued; in such a case, the "complainant" for the purposes of this document will be the Dean of the Graduate School.

The administrator must advise the individuals accused of research misconduct that they are entitled to be represented by legal counsel (at the individual's own expense) in all meetings related to the alleged misconduct.

Whenever an allegation or complaint involving the possibility of scientific misconduct is made, the Dean of the Graduate School initiates an inquiry (the first step of the review process). Factual information will be gathered and expeditiously reviewed to determine if an investigation of the charge is warranted. The inquiry is designed to separate allegations deserving of further investigation from frivolous, unjustified, or clearly mistaken allegations.

The investigating body will be a five-person ad hoc Inquiry Committee appointed by the Dean of the Graduate School for the purpose of hearing cases of possible scientific misconduct. Tenured faculty members will be chosen from within the University; other individuals may be chosen from outside the University as circumstances dictate.

Those persons investigating the allegations will be selected in full awareness of the closeness of their professional or personal affiliation with the complainant or the respondent. Any prospective member who has a conflict of interest in a case will not be permitted to be involved in that case. It is important, however, that the committee have appropriate research expertise to assure a sound knowledge base from which to work.

Within ten (10) days of the initiation of the inquiry, the Dean of the Graduate School will notify the respondent of the charges and of the process that will follow. The Inquiry Committee will be convened immediately.

During the inquiry, confidentiality (when permitted by law) is imperative in order to protect the rights of all parties involved. Cases that depend specifically upon the observations or statements of the complainant proceed with the open involvement of that individual; other cases which rely on documentary evidence permit the Dean of the Graduate School to serve as the complainant and the original complainant to remain anonymous, insofar as legally allowed.

The Dean of the Graduate School will disseminate the facts of the case to the appropriate individuals. Notification must be made in writing and copies must be filed in the Office of the Dean of the Graduate School.

After the inquiry is initiated, the respondent will cooperate by providing material necessary to conduct the inquiry.

The inquiry phase will be completed within sixty (60) days or less of the initial notification of the respondent unless circumstances clearly warrant a longer time. If the established deadline cannot be met, a report citing the reasons for the delay and progress to date will be submitted for the record. The respondent and all individuals involved will be informed.

At the completion of the inquiry phase, a determination will be made as to whether a formal investigation is warranted. Written documentation of the process and conclusion of the inquiry must be provided. The respondent and complainant will be informed by the Dean of the Graduate School.

The agency sponsoring the research involved will be notified of the allegations.

If an allegation is found to be unsupported but has been submitted in good faith, no further formal action will be taken. All involved parties will be informed of the findings.

The proceedings of the inquiry will be held in strict confidence subject only to legal constraints to protect the parties involved. Allegations brought forward not in good faith will lead to disciplinary action of the complainant.

The Texas Woman's University will seek to protect the complainant against retaliation. Individuals engaged in acts of retaliation will be disciplined.

An investigation will be initiated only after an Inquiry Committee issues a finding that an investigation is warranted. The investigation's purpose is to explore further the allegations and determine whether there has been research misconduct. In the course of an investigation, additional information may emerge that justifies broadening the scope of the investigation beyond the initial allegations. The respondent will be informed in writing when significant new directions of investigation are undertaken. The investigation will focus on accusations of misconduct as defined previously and examine the factual materials of each case. The investigation will look carefully at the substance of the charges and examine all relevant evidence.

Except in the circumstance discussed in the next paragraph, the investigating body will be a five-person ad hoc committee appointed by the Dean of the Graduate School. Members serving on the Inquiry Committee will also be asked to serve on the Investigative Committee.

If the alleged research misconduct is a failure to comply with regulations involving the use of human subjects, laboratory animals, or recombinant DNA in research, the chair of the University compliance committee on that subject will join the Investigative Committee. If there is a conflict of interest, the Dean of the Graduate School will appoint a representative from the appropriate committee.

Upon receipt of the inquiry finding that an investigation is warranted, the Dean of the Graduate School will initiate the investigation within thirty (30) days. The complainant and respondent will be notified in writing of the investigation; the written summary of the inquiry stage will be included with this notification. All involved parties are obligated to cooperate with the proceedings in securing additional data related to the case. All necessary information will be provided to the respondent in a timely manner to facilitate the preparation of a response. The respondent will have the opportunity to address the charges and evidence in detail. Written notification of hearing dates and copies of all relevant documents will be provided by the Investigative Committee in advance of scheduled meetings. Hearings are confidential and will be declared closed.

In the interim, the Inquiry Committee will, if necessary, act to protect the health and safety of research subjects, patients, and students by recommending action to be initiated by the Dean of the Graduate School. Administrative action could range from complete suspension to slight restrictions in the activities of the respondent.

After all evidence has been received and hearings completed, the Investigative Committee shall meet in closed sessions to deliberate and prepare its findings and recommendations.

The written record for the investigative stage will be handled in the same manner as the inquiry stage; that is, written documentation of the process, findings, and recommendations must be provided. One copy of the record will be given to the respondent; a second confidential copy will be maintained by the Office of the Dean of the Graduate School for a time specified by the committee.

The University will attempt to complete an investigation within 120 days. If the deadline cannot be met, an interim report will be submitted by the committee to the Dean of the Graduate School with a request for an extension.

In the event of a finding of misconduct in research, Texas Woman's University will provide the faculty or staff member(s) who have been asked to respond to these allegations with information on appeal and final review. The Dean of the Graduate School will inform the respondents that l) the appeal of the Investigative Committee's decisions must be in writing and addressed to the Provost and Vice President for Academic Affairs, 2) the appeal should indicate the grounds for the appeal, and 3) the appeal should be filed within thirty (30) days of a finding of research misconduct.

Grounds for appeal include (but are not limited to) new previously unconsidered evidence, sanctions not in keeping with the findings, conflict of interest not previously known among those involved in the investigations, and other lapses in due process.

Upon receipt of the written appeal, the Provost and Vice President for Academic Affairs will evaluate the evidence and make a determination. That official may reopen the investigation. The decision will be binding on all parties and will be conveyed in a timely fashion.

When the Provost and Vice President for Academic Affairs and the Investigative Committee agree that misconduct in research did occur, the Provost and Vice President for Academic Affairs shall set in motion notification procedures and the disciplinary action to be taken.

All federal agencies, sponsors, and other entities initially informed of the investigation shall be notified promptly of the finding of the misconduct. Considerations shall also be given to other parties on a need-to-know basis. These parties might include: co-authors, co-investigators, collaborators; editors of journals in which fraudulent research was published; sponsoring agencies and funding sources with which the individual has been affiliated; professional societies, licensing boards; or, criminal authorities (where appropriate).

University action will be in proportion to the misconduct. Responsibility for determining the action shall be with the Provost and Vice President for Academic Affairs. The following list of University actions is illustrative: l) removal from a particular research project; 2) letter of reprimand; 3) suspension for a specified period, with or without salary; 4) salary reduction; 5) rank reduction; 6) special monitoring of future work; 7) probation for a specified period, with conditions specified; and, 8) termination of employment.

When the Provost and Vice President for Academic Affairs does not concur with the decisions of the Investigative Committee that misconduct in research did occur, that officer shall issue a statement of finding, notify appropriate persons and agencies of the outcome of the appeal, and make diligent efforts as appropriate to restore the reputation of persons alleged to have engaged in misconduct when allegations have not been confirmed. The Provost and Vice President for Academic Affairs will also make diligent efforts to protect the positions and reputations of those persons who, in good faith, made the allegations.

If the Provost and Vice President for Academic Affairs considers that there is sufficient new evidence that should be considered, that officer has the authority to call for reconsideration by the original Investigative Committee or to ask that a new investigation be conducted by a new committee.

Complete records of the inquiry, investigation, and disposition shall be maintained, in a secure manner, in the Office of the Dean of the Graduate School for a period of at least three (3) years after the termination of the inquiry, and shall, upon request, be available to authorized personnel from the United States Department of Health and Human Services.

APPROVED: 12/89